Regional AVP: Risk, Strategy & People Leadership

LPL Financial LLC; Fort Mill (SC); On-site; USD 105,000 - 174,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. seeks an Assistant Vice President to provide operational support to the HOS VP and supervise regional teams, ensuring regulatory compliance and risk management.

The role focuses on strategic projects, policy interpretation, and stakeholder liaison across the firm. Ideal candidates have 7–10 years of supervisory/regulatory experience, Series 7/9/10 and Series 66 or equivalents, and strong communication skills.

Qualifications

• Undergraduate degree in Business, Accounting, Finance, or related discipline.
• A minimum of 7-10 years’ experience in supervision, compliance and/or regulatory matters
• Series 7, 9 and 10 (or Series 24); Series 66 (or S63 and S65)

Responsibilities

• Support VP and regional supervisory teams with escalations and coordinate with Advisors, OSJ Managers and internal departments.
• Lead departmental strategic projects to create efficiencies and improve risk mitigation.
• Monitor workload and staffing to ensure SLA adherence; plan process changes and resource needs.
• Interpret FINRA, SEC, and state regulations and develop applicable policies and procedures.
• Communicate project status to management and define project direction.
• Interact with Senior Management.
• Serve as a key contact for Operations, Service Center, and Client Success.
• Anticipate needs of LPL and client success to drive and execute projects.
• Identify regulatory issues and create internal policies, controls.
• Identify and report gaps in policy and controls and propose corrective actions.
• Identify risk and develop policy and controls to mitigate.

Skills

Strong organizational skills

Oral and written communication

Industry acumen

Independent worker

Multi-tasking & problem solving

Project management

Education

Undergraduate degree in Business, Accounting, Finance, or related discipline

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

PowerPoint

Job description

LPL Financial Holdings Inc. seeks an Assistant Vice President to provide operational support to the HOS VP and supervise regional teams, ensuring regulatory compliance and risk management.

The role focuses on strategic projects, policy interpretation, and stakeholder liaison across the firm. Ideal candidates have 7–10 years of supervisory/regulatory experience, Series 7/9/10 and Series 66 or equivalents, and strong communication skills.